Financial Planning Specialist

Summary:

Assists Advisors in servicing clients and preparing Financial Planning deliverables. Manages client contact to ensure client satisfaction. Leads follow-up and relieves Advisors of clerical work, and administrative and business detail. Services clients and completes work by trading securities, preparing reports, and inputting data.

Essential Duties and Responsibilities:

Answers client inquiries and provides readily available information to clients, if requested and as allowable, as it relates to servicing their accounts.

Completes financial plans and other written documentation necessary to support Financial Planning agreements on MoneyGuide Pro, Wealth Studios, FAP, or alternate calculators as appropriate.

Plans and conducts investment research to identify alternative investment ideas and opportunities for investment.

Acts as back-up to communicating with clients when appropriate to review and gain approval on Advisor’s recommendations.

Acts as the insurance specialist for the Practice, including preparing insurance illustrations, providing insurance analysis research, and making recommendations to Advisors.

Explores opportunities to add value to job accomplishments and to the organization, including studying and exploring new insurance products.

Accepts and performs other duties as assigned.

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Supervisory Responsibilities:

This position has no supervisory responsibilities.

Competencies :

To perform the job successfully, an individual should demonstrate the following competencies:

Client Service - Manages difficult or emotional client situations; Responds promptly to client needs; to requests for service and assistance; Meets commitments.

Interpersonal Skills - Focuses on solving conflict, not blaming; Maintains confidentiality; Keeps emotions under control; Remains open to ideas of others and tries new things.

Oral Communication - Speaks clearly and persuasively in positive or negative situations; Listens and gets clarification; Responds well to questions.

Written Communication - Writes clearly and informatively; Edits work for spelling and grammar; Varies writing style to meet needs; Presents numerical data effectively; Able to read and interpret written information.

Teamwork - Balances team and individual responsibilities; Exhibits objectivity and openness to others' views; Gives and welcomes feedback; Contributes to building a positive team spirit; Puts success of team above own interests; Able to build morale and group commitments to goals and objectives; Supports everyone's efforts to succeed.

Ethics - Keeps commitments; Inspires the trust of others; Works with integrity and ethically; Upholds organizational values.

Organizational Support - Follows policies and procedures; Completes administrative tasks correctly and on time; Supports organization's goals and values; Benefits organization through outside activities.

Motivation - Sets and achieves challenging goals; Demonstrates persistence and overcomes obstacles; Measures self against standard of excellence.

Planning/Organizing - Prioritizes and plans work activities; Uses time efficiently; Develops realistic action plans.

Professionalism - Approaches others in a tactful manner; Reacts well under pressure; Treats others with respect and consideration; Accepts responsibility for own actions; Follows through on commitments.

Quality - Demonstrates accuracy and thoroughness; Looks for ways to improve and promote quality; Applies feedback to improve performance; Monitors own work to ensure quality.

Adaptability - Adapts to changes in the work environment; Manages competing demands; Changes approach or method to best fit the situation; Able to deal with frequent change, delays, or unexpected events.

Attendance/Punctuality - Is consistently at work and on time; Ensures work responsibilities are covered when absent; Arrives at meetings on time.

Dependability - Follows instructions, responds to management direction; Keeps commitments; Completes tasks on time or notifies appropriate person with an alternate plan.

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Qualifications:

To perform the job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed are representative of the knowledge, skill, and/or ability required. Reasonable accommodation may be made available to enable individuals with disabilities to perform the essential function.

Education and/or Experience :

Associates or higher degree from an accredited institution, college, or university; or one to two years related experience and/or training; or equivalent combination of education and experience.

Advanced degrees in related disciplines are helpful and preferred.

Continued education- Lifelong learning is expected.

Language Skills :

Ability to read, analyze, and interpret documents such as technical procedures, company policies, regulations and instructions, procedure and compliance manuals is essential. Must be able to write and understand routine reports and correspondence. Demonstrate the ability to speak effectively and clearly to individuals and groups of customers or employees of the organization.

Must be diplomatic when dealing with clients and/or Home Office. Friendly, outgoing personality and professional demeanor is expected at all times.

Mathematical Skills :

Demonstrate proficiency to add, subtract, multiply, and divide in all units of measure, using whole numbers, common fractions, and decimals. Must be able to compute rate, ratio, and percent and to draw and interpret bar graphs.

Computer Skills :

To perform this job successfully, an individual should have knowledge of contact management systems, database software, internet software, spreadsheet software, and word processing software.

Required to learn proprietary software including Portfolio Management Tool (PMT), Advisor Compass, Client Viewer, Ameriprise Brokerage website (Thomson One), Sales Force/CRM, eForms Manager.

Proficient use of Money Guide Pro and Wealth Studios.

Certificates, Licenses, Registrations:

Licensed in accordance with Ameriprise standards. The following licenses are preferred for the Planning Assistant/Paraplanner position: Federal and State licenses and registrations for securities, including the Series 7 and Series 66. State life, accident, and health insurance licenses also required.

You are required to retain all necessary registration and licenses (including Continuing Education) for the Planning Assistant/Paraplanner position. You must maintain the above mentioned licensing as well as retain any additional licensing that may become required for your position.

Physical Demands and Work Environment:

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this position.

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Work involves sedentary to light work in an office setting. There is frequent need to sit, talk, hear, use the hands and fingers, occasionally lift light objects (up to 25 pounds), and perform other similar actions during the course of the workday.

The work environment is typical office work such as you would find in a bank, insurance business, accounting firm, law firm, or other professional office. There are no unusual or significant hazards. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.